Securities Archive » December, 2013

Securities - December, 2013

234 articles

• No Magic Bullet In Post-Credit Crisis Investment Litigation
• Deutsche Bank, FHFA Agree To $1.9B Deal In RMBS Suit
• CIT To Pay $60M To Settle Tyco Tax-Agreement Feud
• Archer Daniels Midland To Pay $54M Over Ukrainian Bribes
• Goldman Sachs Exec Pay Suit Gets Heave-Ho Again
• How They Won It: Skadden Shapes Law In Kid Brands Case
• SAC Manager Martoma's Request To Delay Trial Denied
• White House Taps Latham Partner As CFTC Commissioner
• Intel Succeeds In Axing Lehman Claims Over $1B Collateral
• FDIC Can't Revive $644M MBS Suits Against Countrywide
• Female Powerbrokers Q&A: McCarter & English's Pam Moore
• Female Powerbrokers Q&A: Vorys Sater's Benita Kahn
• Media Co. Waived Right To Arbitrate Calif. Investor Suit
• $30M Cut From Attys' Fees In Citigroup Settlement
• Ex-Microsoft Employee, Pal Charged With Insider Trading
• MicroMed Investors Say Execs Lied About Heart Pump Patents
• Fed's Taper Sends Mixed Message On Economy
• Ambac And The New World Order
• Ex-Broker Admits To Insider Trading On $1.2B IBM Deal
• NY Put-Back Claims Time-Barred In Deutsche Bank MBS Suit
• How They Won It: Greenberg Wins Stiefel Securities Verdict
• A Guide To Navigating Annual-Meeting Logistics
• Regions Agrees To $22.5M Deal In 401(k) Plan Class Action
• Female Powerbrokers Q&A: Novak Druce's Pat Rogowski
• Female Powerbrokers Q&A: White And Williams' Joan Rosoff
• Alleged Steinberg Conspirators Claim Innocence In 2nd Circ.
• Teva Hit With Securities Class Action Over CEO Resignation
• Barnes & Noble Hit With Derivative Suit Over SEC Probe
• Further Thinking On Halliburton
• Deutsche Bank Dropped From $7B MBS Class Action
• Del. High Court Urged To Reverse Strine's MFW Decision
• Wachtell Lipton Sues CVR, Icahn Over Malpractice Claims
• EU Member States Approve New Auditing Rules
• Ex-JPMorgan VP Gets No Prison, No Fines For Bid-Rigging
• Deutsche Bank Says FHFA's $567M RMBS Suit Is Too Late
• Ex-NFL Player Cops To Running $2M Ponzi Scheme
• ConvergEx Agrees To Pay $150M To Settle Fraud Claims
• SAC's Steinberg Guilty Of Insider Trading
• Sovereign Bancorp Can't Recoup $234M In Taxes, US Says
• Radient Pays $2.5M To End Claims It Lied About Mayo Clinic
• Indicted Biofuel Co. Sold Phony Biofuel Credits, EPA Says
• Facebook Can't Shed Investor Suit Over IPO
• Activist Investor Presses For Sale Of Cracker Barrel
• Hunton Attys Needn't Testify In CDO Fight, Judge Says
• GOP Reps. Seek Changes To CLO Risk-Retention Proposal
• Credit Suisse Duped Investors In $10B MBS Deals, NJ Says
• Female Powerbrokers Q&A: Ober Kaler's Barbara Werther
• Female Powerbrokers Q&A: Dechert's Cathy Botticelli
• SEC Eases Registration Rules On Startup Funding
• Jury Convicts Ex-Fund Manager Balboa Of Inflating Assets
• Inside The Volcker Rule
• SAC Manager Can't Escape Charges Involving Foreign Stocks
• Cerberus Freed From Austrian Banking Exec's Refco Suit
• High Court To Set Key Standard For ERISA Stock-Drop Cases
• Robbins Geller Says Boeing Slinging 'Mud' In Sanctions Row
• SEC Fines Hit Record $3.4B In 2013
• Equal Energy On Defensive As Investors Blast Sale Plans
• Female Powerbrokers Q&A: Locke Lord's Denise Hanna
• Female Powerbrokers Q&A: Morrison & Foerster's Anna White
• Libor-Rigging Suspects Deny Fraud, Conspiracy Charges
• SEC Wants $1M In Fines For Ex-Goldman Trader Tourre
• Sens. Ask FINRA To Explain Record Expungements
• Activist Says REIT Gave Bill Gates Sweetheart Resort Deal
• CFTC's Wetjen Named Acting Chairman
• Penthouse Publisher Resolves SEC Dispute Over Ch. 11 Plan
• Treasury's Asset Manager Report Only Research, Official Says
• Ex-Ore. Pol Gets 6 Years For $13M Social Media Stock Fraud
• SAC Manager 'Gladly' Traded On Insider Tips, Feds Say
• IRS Loses Bid To Strike Down Stock Ownership Tax Shelter
• BofA Doles Out $8M To End Trust Account Investment Suit
• Dechert Adds Ex-KPMG Tax Atty To NY Office
• BCI Aircraft Exec Gets 20 Months For $31M Scheme
• FINRA Fines Firm $1M Over Anti-Money Laundering Rules
• Lockheed's ERISA Class Cert. Appeal Nixed By High Court
• Female Powerbrokers Q&A: Arnold & Porter's Maureen Jeffreys
• Female Powerbrokers Q&A: Fish's Ann Cathcart Chaplin
• AT&T, Verizon Risk Investor Battle Over Gov't Spying
• Expedia Hit With Derivative Suit Over CEO Compensation
• UBS Off The Hook For $2.3B In Rogue Trader Losses
• Record Settlement Payments, Record Tax Deductions?
• Supreme Court Grants Review Of Fifth Third ERISA Appeal
• Ex-GlobeTel Execs Say Penalties Too High For $119M Fraud
• Sluggish Retail Sector Proves Fertile Ground For Activists
• High Court To Consider Scope Of Bank Fraud Statute
• Deals Rumor Mill: Time Warner, Sprint, Icahn
• Female Powerbrokers Q&A: Paul Hastings' Elizabeth Noe
• Female Powerbrokers Q&A: Bartlit's Rebecca Weinstein Bacon
• SEC Bars Ex-Daily News Columnist Over Insider Trading Plot
• 5 Steps To A Successful Cross-Examination
• Madoff Employee's Atty Casts Doubt On Gov't Star Witness
• Monster Investor Sues For Docs Linked To $94M Stock Dump
• Ex-Sen. Steps Down As CEO Of Wall St.'s Biggest Lobby Group
• Tribal Leader Row Not Part Of $250M Bond Suit, Judge Rules
• Insurer Contests Damages Limit In $1.8B Credit Suisse Row
• SEC Lacks Economic Justification For Pay-Disclosure Rule
• A Restraint On Gov't 'Stream Of Payments' Theory
• 5 BigLaw Attys Who Landed On Santa's Naughty List
• EU Watchdog Urges Monitoring Of Insurance-Linked Securities
• GLG Partners To Pay $9M for Overvaluing Fund
• U. Of Cincinnati Coach's Fund Partner Must Pay $8M Penalty
• Merrill Lynch Strikes $132M Pact With SEC Over CDO Claims
• Understanding Proxy Distribution, Solicitation Mechanics
• Female Powerbrokers Q&A: White And Williams' Patti Santelle
• SEC Loses Fraud Claims Against Water Purifier Co. Execs
• Female Powerbrokers Q&A: Mayer Brown's Debora De Hoyos
• No One Regulator Will Lead Volcker Enforcement, Lew Says
• Ex-SAC Trader's Christmas Vacation Gets Judge's Nod
• BofA Shakes Fraud Suit Over Subprime Mortgage Standards
• Poultry Co. Hit With $30M Tax Deficiency Over Stock Sale
• Pharma Co. Investors Can Serve China Execs Via US Counsel
• Burned By Madoff, SEC Turned The Page
• UK Pols Call EU Financial Transaction Tax Proposal 'Deadly'
• SAC Cooperator Says He Aided Many Insider-Trading Probes
• For FDIC, Big Bank Wind-Down Plan Is Best Bad Choice
• 4th Circ. Nixes Fund Manager's Conviction For $35M Scam
• Bridgepoint Education Tender Offer Is 'Disloyal,' Suit Says
• Defendants Can't Escape Liability In FHFA Securities Case
• Credit Suisse Says NY AG's Suit Over RMBS Came Too Late
• Amended Rule 45 Significantly Alters Subpoena Practice
• US Can't Escape Gov't Workers' $120M Ponzi Scheme Suit
• Why Financial Services Firms Should Prepare For Bitcoin
• Female Powerbrokers Q&A: Morrison Cohen's Danielle Lesser
• Female Powerbrokers Q&A: Liner Grode's Angela Agrusa
• Silent Ad Damnum Leaves NY Defendants High And Dry
• Despite Some Easing, Volcker Will Pose Challenges For Banks
• Volcker Rule Goes Easy On Real Estate Funds
• Atty For SAC's Steinberg Brands Key Witness A Liar
• SAC's Cohen Says Divorce Accord Bars Ex's Fraud Claims
• Regulators May Hedge Bets On Volcker Rule Enforcement
• BoA Had Active Part In Conspiracy, 11th Circ. Hears
• Aetna Misled Investors On Political Donations, Suit Says
• SEC Wins Judgment In Convicted Fund Exec's $13M Fraud
• Align Technology, Execs Dodge Proposed Fraud Class Action
• Ex-Hansen Medical VP Can't Shake SEC's Fraud Claims
• US Bank Reaches $53M Mortgage Settlement With Freddie Mac
• Female Powerbrokers Q&A: Akin Gump's Kerry Berchem
• Female Powerbrokers Q&A: Locke Lord's Cynthia Bast
• US Financial Regulators Approve Volcker Rule
• Deals Rumor Mill: Novartis, Siemens, Blackstone
• SAC Manager Berated Consultant Over Inside Tips, Atty Says
• Countrywide's $500M MBS Deal Gets Thumbs-Up
• Madoff Trustee May Pursue Assigned Customer Claims
• Quinn Emanuel Escapes DQ In Swaps Rigging Suits
• German Co. To Pay $32M In Nigeria Pipeline Bribery Plot
• Massey Energy Parent To Pay $265M To Exit Shareholder Suit
• Female Powerbrokers Q&A: Gibson Dunn's Mary Murphy
• Female Powerbrokers Q&A: Arnold & Porter's Veronica Rendon
• 2nd Circ. Rebuffs Feds' Legal Theory In GE Bid-Rigging Case
• How FRCP E-Discovery Amendments Could Affect You
• 2nd Circ. Clarifies Scope Of Discovery In Derivative Suits
• Hologic Hands Icahn 2 Board Seats To Head Off Proxy Fight
• Ex-Vitesse Execs Get Probation For Data Tampering
• Deutsche Bank Sues To Collect $300M Judgment From Investor
• DLA Piper Hit With $80M Suit Over Misappropriated Funds
• GE To Pay $18M To Exit Municipal Bond-Rigging Class Action
• Barnes & Noble Facing SEC Accounting Investigation
• NYC Atty Halted From Securities Work Amid Fraud Probe
• Rogue Goldman Trader Sentenced To 9 Months In Prison
• Stock Valuation In Irex Cash-Out Backed By Pa. Appeals Court
• US Backs Argentina In Appeal Of Bond Row Subpoenas
• Volcker Rule's Next Stop: The Courtroom
• Goldman Can't Escape $110M MBS Suit By German Bank
• Comcast Ruling Blocks Class Cert. In BP Securities Suit
• $153M Fannie Mae, KPMG Fraud Class Settlement Wins Nod
• Female Powerbrokers Q&A: Debevoise's Peggy Davenport
• Female Powerbrokers Q&A: Reed Smith's Dusty Kirk
• PNC, Freddie Mac Reach $89M Mortgage Settlement
• Lessons From The 2013 SEC Whistleblower Report
• $1M Fine Against BofA May Be Too Low, Judge Says
• Judge Won't Vacate Petters' 50 Years For $3.7B Ponzi Scheme
• Wolf Haldenstein Attys Face Sanctions In AOL Patent Sale Suit
• Ex-Dell Manager Dodges Prison In Insider Trading Case
• Lululemon Says Yoga Pants Suit Hasn't Shown Stock Inflation
• John Thomas, CEO Belesis Pay $1M To End SEC Action
• 4 Tips For Staving Off A Second-Bite Proxy Contest
• Atty's Bad Advice Led To CFTC Suit, Broker-Dealer Says
• Female Powerbrokers Q&A: Chadbourne's Lori Hoberman
• Female Powerbrokers Q&A: O'Melveny's Carla Christofferson
• Discovery Delayed In $450M Goldman Sachs MBS Suit
• A Primer On Reg. FD And The Earnings Release Process
• Lew Says 'Tough' Volcker Rule Will Complement Other Reforms
• Takeaways From Weatherford Corruption Settlements
• What Banks Must Know About The New Municipal Adviser Rules
• 'Presumption Of Prudence' In ERISA Cases At Risk?
• BofA To Pay $20M To Exit Muni Bond Bid-Rigging MDL
• House Passes Bill Rolling Back Dodd-Frank Measure
• Swaps Industry Groups Sue Over CFTC's Cross-Border Rule
• Ex-SAC Analyst Stresses Dirty Source In Cross-Examination
• Lenders In $767M Oppenheimer Suit Say Damages Provable
• SEC's Courtroom Cred Slips As Trial Losses Mount
• Citibank Wins Bid To Keep $73M Fraud Suit In Federal Court
• Goldman Hit With Fraud Suit Over $34M Currency-Trade Loss
• Goldman Is Liable For Failed Buyout, Dragon Founders Says
• Accounting Watchdog Revives Audit Partner ID Proposal
• Merck Sued For Securities Fraud Over Cholesterol Drug Trial
• Fifth Third To Pay $6.5M For Faulty Crisis-Era Accounting
• Female Powerbrokers Q&A: Hunton & Williams' Lisa Sotto
• Female Powerbrokers Q&A: Hogan Lovells' Emily Yinger
• Deals Rumor Mill: GM, Essex Property, Men's Wearhouse
• SEC Ripped For Dropping Political Spending Disclosure Rule
• EU Fines RBS, Citi, 6 Other Banks $2.3B For Rate-Rigging
• NIC CFO Cleared On All 12 Charges In Fraud Suit
• And Now A Word From The Panel: Too Hot Or Cold For An MDL?
• Jury Awards Lennar $1B in Defamation, Extortion Case
• SEC Negligence Not Protected Under FTCA, Ponzi Victims Say
• Ex-SAC Analyst Testifies He Was Asked To Mislead FBI
• Madoff Accountant Case May Be Too Old, Defense Atty Says
• Judge Won't Pare Claims In SEC Suit Against Life Partners
• RBS, Deutsche Bank Hit With EU Fines Over Libor Rate Rigging
• Miami Trader Made $1.3M From Illegal Moves, SEC Says
• Taylor Bean Trustee, Ginnie Mae Reach Deal For $610M Claim
• Rogue Goldman Trader Should Pay Back $118M, Feds Say
• Halliburton Securities Class OK'd To Continue Discovery
• US Energy Co. Can't Ditch Class Action Over China Revenue
• Female Powerbrokers Q&A: K&L Gates' Janice Hartman
• Female Powerbrokers Q&A: JAMS' Kimberly Taylor
• Regulators Set Volcker Rule Votes For Dec. 10
• S&P Says 'Unwieldy' DOJ Fraud Case Requires 8-Month Trial
• Financial Risk Panel's Flaws Hurting Oversight Mission
• ID Co. Exec Sanctioned For Failure To Produce 'Smart Cards'
• SAC's Steinberg Demanded Secrecy, Analyst Testifies
• Hunton Atty's Drunk Remark Not Insider Trading, Court Hears
• Madoff Lieutenant Says Business Was Long Crooked
• Dell Says $25B Buyout Didn't Undervalue Company
• Will Halliburton Restore Parity To Securities Litigation?
• DOJ Eyes $1.1M Penalty For Ex-Countrywide Exec
• MFC, Investor Trade Jabs As Proxy Fight Heats Up
• Spotlight On Latin America Business Risks
• Female Powerbrokers Q&A: DLA Piper's Tara Lee
• Female Powerbrokers Q&A: Jones Day's Lizanne Thomas
• Credit Rating Giants Face Possible EU Enforcement Action
• Is Complex-Investment Litigation Really Declining?
• Talisman Hands Icahn 2 Board Seats To Thwart Proxy Contest
• BofA, Freddie Mac Reach $404M Mortgage Settlement